SORT: 5220.28
DOCI: DODI 5220.28
DATE: 19780308
TITL: DODI 5220.28 Application of Special Eligibility and Clearance Requirements
in the SIOP-ESI Program for Contractor Employees, March 8, 1978 ASD(C)
References: (a) through (d), see enclosure 1
A.. - REISSUANCE AND PURPOSE
This Instruction (1) establishes the basic security eligibility
requirements for access to Single Integrated Operational Plan - Extremely
Sensitive Information (SIOP-ESI) for contractor employees and the
standard and criteria for making determinations in such cases, and (2)
reissues reference (a) to supplement the provisions of reference (b).
Reference (a) is hereby superseded and canceled.
B. APPLICABILITY AND SCOPE
1. The provisions of this Instruction apply to the Office of the
Secretary of Defense, the Military Departments, the Organization of the
Joint Chiefs of Staff, and the Defense Agencies (hereafter referred to as
"DoD Components").
2. Its provisions encompass a special program involving access to
SIOP-ESI by contractor employees, subject to the Operational Plan outlined
in JCS SM 36-76 (reference (c)).
C. POLICY
In view of the extreme sensitivity of SIOP-ESI, it has been determined
in the national interest that:
1. Individuals granted access to SIOP-ESI shall be stable, of
excellent character and discretion, and of unquestioned loyalty to the
United States.
2. Members of the individual's immediate family and persons to
whom the individual is bound by ties of affection or obligation should
neither be subject to physical, mental, or other forms of duress by a
foreign power, nor advocate the use of force or violence to overthrow the
Government of the United States or the alteration of the form of
Government of the United States by unconstitutional means. For these
purposes, "immediate family" is defined as the individuals spouse,
parents brothers, sisters and children.
3. Any reasonable doubt that access is clearly consistent with the
national interest shall be resolved by a determination that such access is
not clearly consistent with the national interest.
4. Any refusal to answer a relevant inquiry or any deliberate
misrepresentation or falsification of material fact shall be considered
sufficient to justify a refusal to further process an application for
access to SIOP-ESi.
An adverse determination with respect to eligibility for access with
respect to eligibility for access to information requiring protection
solely because it is classified at the Confidential, Secret or Top Secret
level; such determination will continue to be made in accordance with the
standard, criteria and procedures set forth in DoD Directive 5220. 6
(reference (b)).
D. STANDARD AND CRITERIA
1. Standard. The standard for granting or continuing access to SIOP-
ESI is that, based on all the available information, such access is
clearly consistent with the national interest.
2. Criteria. The criteria established in DoD Directive 5220. 6
(reference (b)) for determining the eligibility of contractor employees
for a security clearance are also applicable to determining eligibility
for access to SIOP-ESI. In addition, individuals must also meet the basic
eligibility requirements established in E. 1.
E. REQUIREMENTS
1. Basic Eligibility
a. Individuals may not be considered for access to SIOP-ESI
without meeting the basic security eligibility requirements as set forth
below:
(1) Applicant and spouse, if any, shall be United States
citizens;
(2) Applicant must have a final Top Secret clearance; and
(3) Applicant must have been the subject of an appropriate
investigation as provided in 2. below.
b. Exceptions to the basic eligibility requirements may be made
only by the Chairman, Joint Chiefs of Staff.
2. Investigative
a. The individual being considered for access to SIOP-ESI must
have been the subject of a Special Background Investigation (SBI)
conducted in accordance with current DoD investigative scope requirements
described in section IV, Defense Investigative Service Manual 20-1
(reference (d)).
b. Where a previous investigation has been conducted within the
past 5 years which substantially meets the requirements cited above, it
may serve as a basis for granting access approval, provided a review of
the personnel and security files does not reveal substantive changes in
the individual's security eligibility.
c. A previous investigation does not substantially meet the
minimum standards or if it is more than 5 years old, a current
investigation shall be required, but limited to that necessary to bring
the individual's file up to date in accordance with the investigative
requirements referred to in a. above. Should adverse or questionable
information be developed during the current investigation, the
investigation shall be expanded to develop full details of this new
information.
d. Whenever adverse or derogatory information is discovered or
inconsistencies arise which could impact upon an individual's security
status, appropriate investigation shall be conducted on a timely basis.
Such investigations shall be of sufficient scope to resolve the specific
adverse or derogatory information, or inconsistency, in question so that
a determination can be made as whether the individual's continued
utilization in activities requiring access to SIOP-ESI is clearly
consistent with the interests of national security.
F. PROCEDURES
1. Designated officials of DoD components shall submit requests to
the Chairman, JCS, for SIOP-ESI access authorizations on behalf of DoD
contractors.
2. Upon notification from the Chairman, JCS, that access to SIOP-ESI
is required, the Defense Industrial Security Clearance Office (DISCO)
shall:
a. Request the Defense Investigative Service to initiate the
required investigation;
b. Determine the applicant's eligibility for access to SIOP-ESI
pursuant to the policy set forth in this Instruction;
c. In cases involving favorable determinations, advise contractors
that applicants may be granted access to SIOP-ESI;
d. Certify applicant's eligibility for access to the requesting
DoD component; and
e. Maintain appropriate records pertaining to the applicant's
eligibility.
3. Whenever there is information which indicates that access to
SIOP-ESI may not be clearly consistent with the national interest, DISCO
shall forward the case, together with the recommendation and rationale
therefor, to the Deputy Assistant Secretary of Defense (Security Policy),
for determination under the procedures set forth in DoD Directive 5220. 6
(reference (b)), except that a unanimous vote by the Screening Board is
necessary to grant or continue access to SIOP-ESI,
4. Eligibility determinations under this program are for the
periods specified by the Chairman, JCS, for each program for which access
is required. Subsequent temporary access may be granted upon application
provided that:
a. There has not been a lapse of more than l2 months since
termination of previous access to SIOP-ESI; and
b. Review of a current Personnel Security Questionnaire
reveals no substantial changes which require additional investigation.
G. EFFECTIVE DATE AND IMPLEMENTATION
This Instruction is effective immediately. Forward two copies of
implementing instructions to the Assistant Secretary of Defense
(Comptroller) within 90 days.
REFERENCES
(a) DoD Directive 5220.28, "Application of Special
Eligibility and Clearance Requirements in the 510P-
ESI Program for Contractor Employees," August 18, 1970
(hereby cancel led)
(b) DoD Directive 5220.6, "Industrial Personnel Security
Program," December 20,1976
(c) Joint Chiefs of Staff SM 36-76, "Safeguarding the Single
Integrated Operational Plan," (U) January 15, 1976 1/
(d) Defense-Investigative Service Manual 20-1, "Manual for
Personnel Security Investigations," December 15, 1976
Copies will be furnished on a need to know basis by the Joint Chiefs of
Staff
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